Keynote Address: John S. Polise
The Scope of Securities Fraud: A National Perspective

John S. Polise is Assistant Director, Division of Enforcement, Securities and Exchange Commission, Washington, D.C. As Assistant Director
he manages complex rule filings from self-regulatory organizations and is responsible for administering the Division of Market
Regulation’s program for regulating Alternative Trading Systems, Electronic Communications Networks and new trading systems. He previously
has held positions at both NA SD and the CFTC and also clerked for the Honorable Stanley Sporkin in the Federal District Court in the District
of Columbia. In 2002 Mr. Polise received the Division of Market Regulation’s Jay Manning Award. He also received the SEC’s Capital
Markets Award in 2001 for being part of the Commission’s September 11th recovery team, and received the NA SD Regulation’s President’s
Award in 2000 for outstanding contribution in the investigation and litigation of a precedent-setting customer protection case.